Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Weber Says UBS Should Consider a Chairwoman After He Leaves
By Patrick Winters and Marion HalftermeyerThe global investment bank is planning to appoint the successor to Weber, 64, at its 2022 general meeting.
May 04, 2021
Dynasty to Make Minority Investments in Network Partner RIAsThe company also added Rebecca Zeitels Alcalay, GF Investments vice president, to its board.
May 03, 2021
Advisor Group Seeks at Least $900K From Venerable in LawsuitThe broker-dealer alleges the variable annuity firm is guilty of breaching the terms of a marketing agreement.
May 03, 2021
Sanctuary Wealth Scores 'Biggest Win to Date' in Recruiting $1.5B Merrill TeamQuorum Private Wealth had operated as the Barry & Milligan Group at Merrill.
May 03, 2021
LPL's Advisor Headcount Set to Top 18,500The Waddell & Reed deal, which closed Friday, will likely make LPL the second-largest BD in terms of advisor force.
May 03, 2021
LUMINARIES FAQ: How to Participate in ThinkAdvisor's New Awards ProgramThere are two weeks left to nominate advisors and firms for our new, pioneering recognition program. Here's what you need to know.
April 30, 2021
LPL Closes Waddell & Reed Deal, Adding 900 RepsThe reps work with about 95% of client assets in Waddell & Reed's wealth unit.
April 30, 2021
Samantha Russell: Don't Become the Next BlockbusterThe digital marketing expert warns advisors not to build for the future by focusing on what's worked in the past.